{"url":"https://nivawealth.com/firms/rothschild-and-co-wealth-management-uk-limited-158022","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/158022","regulatoryAum":28474632132,"crd":"158022","secFileNumber":"801-72759","legalName":"Rothschild and Co Wealth Management Uk Limited","displayName":"Rothschild and Co Wealth Management Uk Limited","website":"http://www.rothschildandco.com","linkedinUrl":"https://www.linkedin.com/company/rothschildandco/","founded":null,"organization":"corporation organized in United Kingdom","fiscalYearEnd":"December","headquarters":{"street":"New Court, ST Swithin'S Lane","city":"London","state":"","stateName":"","country":"United Kingdom","postalCode":"EC4N 8AL"},"tradeNames":[],"registration":{"secApproved":"4 October 2011","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":304,"advisory":46,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":28030028420,"discretionaryAccounts":4426,"nonDiscretionary":444603712,"nonDiscretionaryAccounts":15,"wrapProgram":null,"nonUsClientsPct":99,"nonAumClients":0},"clientTypes":[{"label":"High-net-worth individuals","clients":4220,"regulatoryAum":10932582951},{"label":"Pooled investment vehicles","clients":27,"regulatoryAum":16805580585},{"label":"Pension and profit-sharing plans","clients":60,"regulatoryAum":51773424},{"label":"Charitable organizations","clients":96,"regulatoryAum":633160223},{"label":"Corporations and other businesses","clients":27,"regulatoryAum":51534949}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Rothschild & Co Bank International Limited","shortName":"Rothschild & Co Bank International Limited","location":"ST Peter Port","smaAssets":7548921316}],"custodyNote":"Rothschild and Co Wealth Management Uk Limited does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"James Morrell","title":"Chief Executive Officer","crd":"8232697"},{"name":"Tara O'Hagan","title":"Chief Compliance Officer","crd":"7776554"},{"name":"Christian Bouet","title":"Director","crd":"7322986"},{"name":"Christopher Coleman","title":"Director","crd":"6621821"},{"name":"Benedict Cullen","title":"Director","crd":"8058707"},{"name":"Susan Hudson","title":"Director","crd":"1485177"},{"name":"John King","title":"Director","crd":"7523936"},{"name":"Alexander Macphee","title":"Director","crd":"2947741"},{"name":"James Morrell","title":"Director","crd":"8232697"},{"name":"Gary Powell","title":"Director","crd":"5975099"},{"name":"Helen Watson","title":"Director","crd":"6585590"},{"name":"Jonathan Westcott","title":"Director","crd":"6398706"}],"ownership":[{"label":"Rothschild & Co Wealth & Asset Management Sas","detail":"Direct owner in the 75% or more ownership band and a control person, since March 2022."},{"label":"Rothschild & Co Sca","detail":"Indirect owner: a shareholder of Rothschild & Co Wealth & Asset Management Sas in the 75% or more band and a control person, since March 2022.","parent":"Rothschild & Co Wealth & Asset Management Sas"},{"label":"Alexandre De Rothschild","detail":"Indirect owner: elected manager of Rothschild & Co Sca and a control person, since October 2023.","parent":"Rothschild & Co Sca"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"442072805000","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Commissions"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":36},{"label":"U.S. government/agency bonds","percent":3},{"label":"Sovereign bonds","percent":16},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":25},{"label":"Cash and cash equivalents","percent":20}],"privateFunds":0},"sources":{"adv1FilingDate":"30 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/158022/PDF/158022.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Rothschild and Co Wealth Management Uk Limited have?","answer":"Rothschild and Co Wealth Management Uk Limited has 4,430 clients and manages $28.5 billion for them, as of July 2026. They include 4,220 high-net-worth individuals, 96 charitable organizations and 60 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Rothschild and Co Wealth Management Uk Limited offer?","answer":"Rothschild and Co Wealth Management Uk Limited provides portfolio management for individuals and small businesses, portfolio management for pooled vehicles and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Rothschild and Co Wealth Management Uk Limited use?","answer":"Rothschild and Co Wealth Management Uk Limited’s separately managed account assets are held at Rothschild & Co Bank International Limited (ST Peter Port), with $7,548,921,316. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Rothschild and Co Wealth Management Uk Limited have?","answer":"Rothschild and Co Wealth Management Uk Limited has 0 investment adviser representatives registered with state securities authorities, out of 304 employees, and 46 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Rothschild and Co Wealth Management Uk Limited invest in?","answer":"At the end of its last fiscal year, Rothschild and Co Wealth Management Uk Limited’s separately managed accounts held 36% exchange-traded equities, 25% pooled vehicles (private funds and similar), 20% cash and equivalents, 16% sovereign bonds and 3% U.S. government and agency bonds. It advises no private funds of its own.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Rothschild and Co Wealth Management Uk Limited?","answer":"Rothschild and Co Wealth Management Uk Limited’s direct owner is Rothschild & Co Wealth & Asset Management Sas (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Rothschild and Co Wealth Management Uk Limited get paid?","answer":"Rothschild and Co Wealth Management Uk Limited is paid through a percentage of assets under management and commissions. Its Form ADV lists no performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":{"url":"https://nivawealth.com/firms/rothschild-and-co-wealth-management-uk-limited-158022/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-07-28","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1784260/000117266126002859/0001172661-26-002859-index.html","totalValue":6927715099,"positionCount":25,"top10Share":0.9239072501587006,"top10":[{"issuer":"AMERICAN EXPRESS CO","titleOfClass":"COM","cusip":"025816109","value":960027915,"shares":2838220,"shareType":"SH","priorValue":860300912,"priorShares":2844158},{"issuer":"BOOKING HOLDINGS INC","titleOfClass":"COM","cusip":"09857L108","value":764724996,"shares":4290423,"shareType":"SH","priorValue":723754008,"priorShares":171900},{"issuer":"DEERE & 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Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}